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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | $ 0.2 | 06/30/2009 | P | 325 | 06/30/2009 | (1) | Common Stock | 1,625,000 | $ 1,000 | 325 (2) | I | Owned by trust (3) | |||
Series A Preferred Stock | $ 0.2 | 06/30/2009 | P | 100 | 06/30/2009 | (1) | Common Stock | 100 | $ 1,000 | 425 (2) | I | Owned by company (4) | |||
Series A Preferred Warrants | $ 1,250 | 06/30/2009 | P | 162 | 06/30/2009 | 06/30/2014 | Series A Preferred Stock | 162 (5) | $ 0 (6) | 162 (7) | I | Owned by trust (3) | |||
Series A Preferred Warrants | $ 1,250 | 06/30/2009 | P | 50 | 06/30/2009 | 06/30/2014 | Series A Preferred Stock | 50 (8) | $ 0 (6) | 212 (7) | I | Owned by company (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
walker jack jonas 2105 11TH STREET BOULDER, CO 80302 |
X | X |
Lissie Stagg, Attorney in Fact | 07/22/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Series A Preferred Stock does not have an expiration date. |
(2) | The Form 4 filed on 7/2/09 combined the Series A Preferred Stock (#9) held directly and indirectly, rather than tracking them separately. |
(3) | Held by the M & J Walker Charitable Remainder Trust, of which Mr. Walker is a controlling person. |
(4) | Held by March Trade & Finance, Inc., which is wholly owned by the Jack J. Walker Irrevocable Trust, of which Mr. Walker is a controlling person. Mr. Walker is not the beneficiary of the trust and the trust is not a grantor trust. |
(5) | The 162 shares of Series A Preferred Stock are convertible into 810,000 shares of Common Stock. |
(6) | The Series A Preferred Warrants were included in the price of the Series A Preferred Stock. |
(7) | The Form 4 filed on 7/2/09 combined the Series A Preferred Warrants (#9) held directly and indirectly, rather than tracking them separately. |
(8) | The 50 shares of Series A Preferred Stock are convertible into 250,000 shares of Common Stock. |